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James Thomas Shanley

CRD# 839313·Registered 1977 - 2018

Previously Registered: Being a previously registered professional could mean that James is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

James Thomas Shanley was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1977 - 2018. James had worked at 21 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

49 years in the financial services industry

Current & Past Employments

AUGMENT SECURITIES INC.·CRD# 28373

BD

New York, NY

July 7, 2009 - July 9, 2018

TERRANOVA CAPITAL EQUITIES, INC·CRD# 45097

BD

New York, NY

January 13, 2009 - March 28, 2014

SEAPINE SECURITIES, LLC·CRD# 143463

BD

Old Greenwich, CT

July 22, 2008 - November 24, 2009

AUGMENT SECURITIES INC.·CRD# 28373

BD

New York, NY

December 5, 2007 - January 8, 2009

GARDEN STATE SECURITIES, INC.·CRD# 10083

BD

Red Bank, NJ

April 29, 2004 - November 23, 2005

JANSSEN PARTNERS, INC.·CRD# 43940

BD

Fairfield, IA

April 22, 2002 - October 12, 2005

CLARK DODGE & CO., INC.·CRD# 23288

BD

White Plains, NY

January 25, 2002 - August 21, 2002

FIRST PROVIDENCE FINANCIAL GROUP, LLC·CRD# 39469

BD

Port Washington, NY

June 23, 1999 - April 26, 2000

CLARK DODGE & CO., INC.·CRD# 23288

BD

White Plains, NY

August 18, 1998 - June 22, 1999

WINDSOR REYNOLDS SECURITIES, INC.·CRD# 6456

BD

Honolulu, HI

August 8, 1995 - October 9, 1995

AUGMENT SECURITIES INC.·CRD# 28373

BD

New York, NY

January 20, 1995 - September 27, 1995

LT LAWRENCE & CO., INC.·CRD# 31956

BD

New York, NY

May 10, 1994 - February 16, 1995

LANCASTER LEEDS & CO., INC.·CRD# 2732

BD

August 11, 1993 - March 31, 1994

WALSH MANNING SECURITIES, LLC·CRD# 30826

BD

March 19, 1993 - August 3, 1998

LCP CAPITAL CORP.·CRD# 14469

BD

Staten Island, NY

April 20, 1992 - February 2, 1993

GLOBAL AMERICA INCORPORATED·CRD# 23000

BD

February 16, 1990 - December 17, 1990

GREENTREE SECURITIES CORP.·CRD# 7372

BD

January 12, 1988 - November 14, 1988

INVESTEXAS FINANCIAL SERVICES, INC.·CRD# 16625

BD

December 16, 1987 - April 11, 1989

BROOKS WEINGER ROBBINS & LEEDS INC.·CRD# 14156

BD

April 30, 1986 - February 3, 1988

KUHNS BROTHERS & LAIDLAW, INC.·CRD# 1481

BD

February 25, 1985 - April 9, 1986

VOSS & CO., INC.·CRD# 6405

BD

November 7, 1983 - October 13, 1984

MOSELEY SECURITIES CORPORATION·CRD# 7908

BD

September 29, 1979 - November 18, 1985

SECURITIES SETTLEMENT CORPORATION·CRD# 7129

BD

December 12, 1978 - October 4, 1983

THOMSON MCKINNON SECURITIES INC.·CRD# 829

BD

July 1, 1977 - August 29, 1979

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Current Firm

AS

AUGMENT SECURITIES INC.

AUGMENT SECURITIES INC. | ST. JAMES SECURITIES INCORPORATED | SPENCER TRASK VENTURES, INC. | SPENCER TRASK SECURITIES INCORPORATED

CRD#: 28373 / SEC#: 8-43665

BD

Terminated by SEC on 06/26/2018

Contact Information

Established

Delaware since 03/11/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

Name	Position	CRD#
SPENCER TRASK & CO.	SHAREHOLDER	—
COHEN, EDWARD BARRY	FINOP	1029283
SHANLEY, JAMES THOMAS	PRESIDENT & CHIEF COMPLIANCE OFFICER	839313
SOLER, LYDIA M	VICE PRESIDENT	1602404

Disclosures

Regulatory Event

4

Arbitration

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 1998

Series 7 — General Securities Representative Examination

Passed Jun 1977About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 1987About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 1986About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Sep 1982About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Sep 1977About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JS

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